Compliance Officer
Cape Town

12 month fixed-term contract

Responsible for implementing and enforcing the organisation's or business units' compliance program, consults on an on-going basis with Operational Managers. Ensures conformance with applicable laws and regulations covering diverse fields. Performs statistical sampling and monitoring

• Assist in monitoring compliance with applicable legislation and internal requirements with a specific focus on Collective Investment Schemes and compliance with CISCA and Regulation 28, Financial Intelligence Centre Act, Financial Advisory and Intermediary Services Act and POPIA.
• Review and comment on draft Supplemental Deeds
• Monitor compliance with Supplemental Deeds, ASISA Mandates and relevant legislative requirements
• Assist with the compilation and submission of FSCA reporting
• Advise management, employees and clients on all compliance and regulatory matters that affect business decisions
• Analyse and comment on draft legislation
• Assist in developing, promoting, implementing and maintaining compliance standards and procedures that enable employees to act in a compliant manner
• Assist with the proper establishment and maintenance of procedures on the identification, reporting and resolution of compliance breaches and other regulatory issues
• Support the designated business unit leaders in exercising their responsibility for oversight of compliance in their business units

• Relevant tertiary qualification
• A minimum of 4 years’ experience in the Collective Investment Schemes, FAIS and FICA and financial industry experience.
• Certificate in Compliance Management would be an advantage
• FSCA Approved Compliance Officer for Cat II would be an advantage m9.5s